National investment loss lawyers KlaymanToskes is investigating broker Christian De Berardinis (CRD# 4312327) of Morgan Stanley.
According to FINRA BrokerCheck, Christian De Berardinis has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) in connection with FINRA’s findings that he participated in private offerings of securities that raised $2.45 million from customers of his member firm without providing prior written notice to or receiving approval from his firm. De Berardinis consented to sanctions of a 24-month suspension from associating with any FINRA member in all capacities, a $15,000 fine, and disgorgement of $22,500 plus interest.
Investors that suffered losses with broker Christian De Berardinis are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Financial advisor Christian De Berardinis, formerly of Morgan Stanley, has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”). FINRA’s findings disclosed that from February 2020 to August 2021, De Berardinis participated in private offerings of securities that raised $2.45 million from four firm customers without providing prior written notice to or receiving approval from, Morgan Stanley. As a result, De Berardinis reportedly violated FINRA Rules 3280 and 2010. De Berardinis also falsely responded to questions about whether he had participated in private securities transactions on three firm compliance questionnaires between 2020 and 2023.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Christian De Berardinis, or have concerns regarding your investment portfolio at Morgan Stanley, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.